Joshua M. Gomez

CETERA INVESTMENT ADVISERS LLC

LITTLE ROCK, AR 72205

Some features on this profile are disabled

CRD#: 5410986

Professional summary

Joshua Matthew Gomez, who also goes by Joshua Matthes Gomez, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Little Rock, Arkansas and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Joshua has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Matthes Gomez

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: VILLAGES AT WELLINGTON PROPERTY OWNERS ASSOCIATION BOARD; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: WORK WITH MANAGEMENT COMPANY AND VENDORS TO PROVIDE SERVICES/REPAIRS TO NEIGHBORHOOD SHARED FACILITIES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Matthew Gomez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 204 Executive Court Ste 307, Little Rock, AR 72205

RIA

CRD#: 105644

LITTLE ROCK, AR

Current

September 7, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Past

September 7, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 25, 2019 - August 25, 2021

STEPHENS

RIA

CRD#: 3496

LITTLE ROCK, AR

Past

July 1, 2013 - August 25, 2021

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

March 22, 2012 - June 28, 2013

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

NEW ORLEANS, LA

Past

February 26, 2008 - June 6, 2011

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

NEW ORLEANS, LA

Past

September 26, 2007 - February 26, 2008

WHITNEY SECURITIES, L.L.C.

CRD#: 103715

NEW ORLEANS, LA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(9/7/2021)

IAR

Arkansas
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/24/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/5/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 8/31/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/30/2019

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/30/2019

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 7/2/2019

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Chad Carlson

LPL FINANCIAL LLC

IAR

Little Rock, AR

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua M. Gomez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Matthew Gomez's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

STEPHENS

STEPHENS

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CETERA INVESTMENT SERVICES LLC

WHITNEY SECURITIES, L.L.C.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2019

Series 63

Date: 12/5/2007

Series 57TO

Date: 8/31/2019

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2007

Series 10

Date: 7/30/2019

Series 9

Date: 7/30/2019

Series 4

Date: 7/2/2019

Series 24

Date: 6/3/2019

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors